Forrest James
Forrest James is a registered investment advisor at Emerson Equity LLC, based in San Mateo, CA, with 38 years of industry experience. Forrest operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Insurance Planning, Investment Management. Their firm serves 679 clients with $330M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 2.50% |
| $1M+ | 2.25% |
Fees are negotiable. The Advisor, as a registered Broker-Dealer, also receives 12b-1 fees for certain mutual fund transactions.
Fee Estimator
Location
155 Bovet Road, Suite 725, San Mateo, CA, 94402
Get directionsHistory
Regulatory History (1)
Customer Dispute
January 2024Other Business ActivitiesSells Insurance
Forrest is an agent for Blue Shield Health Insurance (though not actively seeking business), and potentially sells life insurance and fixed annuities, dedicating a few hours per week to the latter. Forrest is also a real estate agent, spending minimal time on this, and an LLC member of Irvine Advisors, LLC, which is used for marketing purposes and takes nearly full-time.
Employment History
Current Registrations
Emerson Equity LLC
Emerson Equity LLCBroker
Previous Registrations
Ari Financial Services, INC.Broker
Mapleton Capital Management, LLC
Mapleton Capital Management, LLC
Ocean Park Capital Management, LLC
The Investment Center, INC.Broker
The Investment Center, INC.Broker
Prudential Securities IncorporatedBroker
State Registrations25 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.